KBC SECURITIES USA INC.

08/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070080688-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: KBC Financial Products USA, Inc., Respondent Broker-Dealer CRD No. 46709 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, KBC Financial Products USA, Inc. ("KBFP" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2007008068801data-portal.finra.orgfinra.org

11/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080142618-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: KBC Securities USA, Inc. f/k/a KBC Financial Products USA, Inc., Respondent Broker-Dealer CRD No. 46709 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, KBC Securities USA, Inc. f/k/a KBC Financial Products USA, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

Reference 2008014261801finra.orgdata-portal.finra.org

05/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVFR AND CONSENT NO. 20110296944-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: KBC Securities USA, Inc., Respondent Broker-Dealer CRD No. 46709 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, KBC Securities USA, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2011029694401data-portal.finra.orgfinra.org

06/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. *** 20050001668-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: KBC Financial Products USA, Inc., Respondent Broker-Dealer CRD No. 46709 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Respondent KBC Financial Products USA, Inc. ("KBFP" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2005000166802data-portal.finra.orgfinra.org

03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20060058662-01 TO: Department of Market Regulation NASD RE: KBC Financial Products USA, Inc., Respondent Broker/Dealer CRD Number 46709 Pursuant to Rule 9216 of NASD Code of Procedure, KBC Financial Products USA, Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the

Reference 2006005866201data-portal.finra.orgfinra.org